DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Advisor moves

Arrivals at Commerce Brokerage Services, Inc

A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.

Advisor	From	To	Type	Left	Registered
Darrin Adrian Andrews	Osaic Institutions, Inc. BD affiliated	Commerce Brokerage Services, Inc independent RIA	Affiliated broker-dealer or bank to independent RIA	Apr 28, 2023	May 9, 2023
Claude Wilson	Sanctuary Advisors, LLC BD affiliated	Commerce Brokerage Services, Inc independent RIA	Affiliated broker-dealer or bank to independent RIA	Apr 14, 2022	Jun 20, 2022 (67 d)
Seth Allan Keethler	Edward Jones national BD	Commerce Brokerage Services, Inc independent RIA	Affiliated broker-dealer or bank to independent RIA	May 4, 2021	Jun 29, 2021 (56 d)
Paul L Banks	Edward Jones national BD	Commerce Brokerage Services, Inc independent RIA	Affiliated broker-dealer or bank to independent RIA	Nov 12, 2020	Jan 4, 2021 (53 d)
Brian W Lewallen	LPL Financial LLC independent RIA	Commerce Brokerage Services, Inc independent RIA	RIA to RIA	Apr 8, 2019	May 2, 2019
Maxwell Jared Synon	Smith Moore & Co. independent RIA	Commerce Brokerage Services, Inc independent RIA	RIA to RIA	Jan 11, 2019	Jan 16, 2019
Steven Anthony Gambino	U.S. Bancorp Investments, Inc. BD affiliated	Commerce Brokerage Services, Inc independent RIA	Affiliated broker-dealer or bank to independent RIA	Apr 24, 2018	May 9, 2018
Jayson Thomas Hanagan	Td Ameritrade Investment Management, LLC independent RIA	Commerce Brokerage Services, Inc independent RIA	RIA to RIA	Apr 2, 2018	Mar 5, 2019 (337 d)
Christopher J Mcneil	Waddell & Reed other	Commerce Brokerage Services, Inc other	Other	Nov 20, 2017	Dec 4, 2017
Daniel Joseph Esselman	Woodbury Financial Services, Inc. other	Commerce Brokerage Services, Inc other	Other	May 23, 2017	Aug 23, 2017 (92 d)
Karen Harth	Morgan Stanley wirehouse	Commerce Brokerage Services, Inc other	Other	Jan 23, 2017	Jan 23, 2017
Christopher David Gibbs	Ameriprise Financial Services, LLC national BD	Commerce Brokerage Services, Inc other	Other	Nov 30, 2016	Feb 27, 2017 (89 d)
Kyle Scott Clemson	LPL Financial LLC other	Commerce Brokerage Services, Inc independent RIA	Other	Jan 19, 2016	Jan 3, 2020 (1445 d)
Eric Gregory Oppelz	Fifth Third Securities, Inc. other	Commerce Brokerage Services, Inc other	Other	Dec 14, 2015	Jan 4, 2016
Michael Christopher Unnerstall	Edward Jones national BD	Commerce Brokerage Services, Inc other	Other	Dec 3, 2015	Dec 9, 2015
John Tyler Stevens	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Commerce Brokerage Services, Inc other	Other	Oct 1, 2015	Nov 5, 2015 (35 d)
Thomas J Bolain	Pnc Wealth Management other	Commerce Brokerage Services, Inc other	Other	Aug 14, 2015	Aug 11, 2015
Jason Lon Smith	First Brokerage America, L.L.C. unclassified	Commerce Brokerage Services, Inc other	Other	Jul 23, 2015	Sep 22, 2015 (61 d)
Teresa Lynn Murphy	Wells Fargo Advisors wirehouse	Commerce Brokerage Services, Inc other	Other	Apr 15, 2015	Apr 24, 2015
Jacqueline Schlup Daniels	Edward Jones national BD	Commerce Brokerage Services, Inc other	Other	May 20, 2014	Jun 2, 2014
Camille Marie Marolf	Thrivent Investment Management Inc. other	Commerce Brokerage Services, Inc other	Other	Sep 10, 2013	Oct 4, 2013
James Bryan Stark	Cetera Advisors LLC other	Commerce Brokerage Services, Inc other	Other	Aug 21, 2013	Aug 26, 2013
Ryan C Bly	Umb Financial Services, Inc. no RAUM	Commerce Brokerage Services, Inc other	Other	Aug 21, 2013	Aug 26, 2013
Aaron Mark Alexander	Ameriprise Financial Services, LLC national BD	Commerce Brokerage Services, Inc other	Other	Oct 18, 2012	Oct 22, 2012
Charlotte Steger Matthews	Edward Jones national BD	Commerce Brokerage Services, Inc other	Other	Jan 4, 2012	Jan 23, 2012
Erik Alexander Meyer	Edward Jones national BD	Commerce Brokerage Services, Inc other	Other	May 24, 2011	Jun 30, 2011 (37 d)
Lisa Ann May	U.S. Bancorp Investments, Inc. other	Commerce Brokerage Services, Inc other	Other	Jan 21, 2011	Jan 21, 2011
Gregory Patrick Dible	Merrill Lynch, Pierce, Fenner & Smith Incorporated wirehouse	Commerce Brokerage Services, Inc other	Other	Jul 2, 2008	Sep 2, 2008 (62 d)
Dawn Elizabeth Hansen	Waddell & Reed other	Commerce Brokerage Services, Inc other	Other	May 28, 2008	Jun 4, 2008
Rhett Nathan Shockey	New England Securities Corporation other	Commerce Brokerage Services, Inc other	Other	May 13, 2008	Jun 4, 2008
Cindy Lou Ellis	UBS Financial Services Inc. wirehouse	Commerce Brokerage Services, Inc other	Other	Mar 26, 2008	May 29, 2008 (64 d)
Joseph Michael Costello	Raymond James & Associates, Inc. national BD	Commerce Brokerage Services, Inc other	Other	Feb 29, 2008	Apr 29, 2008 (60 d)
Jeffrey L Goff	Vsr Advisory Services other	Commerce Brokerage Services, Inc other	Other	Feb 28, 2007	Apr 27, 2007 (58 d)
Joshua Daniel Royeton	J.P. Morgan Institutional Investments other	Commerce Brokerage Services, Inc other	Other	Jan 30, 2007	May 24, 2007 (114 d)
Lisa Lea Moser	Cambridge Investment Research Advisors, Inc. other	Commerce Brokerage Services, Inc other	Other	Nov 16, 2006	Jul 9, 2008 (601 d)
Michael B Mcnamee	Td Ameritrade, Inc. no RAUM	Commerce Brokerage Services, Inc other	Other	Jun 30, 2005	Sep 19, 2005 (81 d)
John Matthew Piershale	Natcity Investments, Inc. unclassified	Commerce Brokerage Services, Inc other	Other	Dec 17, 2004	Nov 19, 2004
William Frederick Fisher	UBS Financial Services Inc. wirehouse	Commerce Brokerage Services, Inc other	Other	Sep 10, 2004	Aug 19, 2004
Garryl Weston Keel	Bok Financial Advisors other	Commerce Brokerage Services, Inc other	Other	Jun 11, 2004	Sep 2, 2004 (83 d)
Joann Michelle Jolly	Ffp Advisory Services Inc unclassified	Commerce Brokerage Services, Inc other	Other	Mar 23, 2004	Jun 15, 2004 (84 d)
Kyle Alan Herrman	Main Street Advisors, LLC other	Commerce Brokerage Services, Inc other	Other	Jul 11, 2003	Aug 13, 2003 (33 d)
Thomas Michael Pittala	Waddell & Reed other	Commerce Brokerage Services, Inc other	Other	Jan 31, 2003	May 5, 2006 (1190 d)

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42 moves match.